Susan C. Brumbaugh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Susan Carol Brumbaugh, who also goes by Susan Carol Bruneau, Susan Carol Manos, Susan Carol Norman, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1998. Susan had worked at 15 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2014 - August 6, 2014
AVANTAX ADVISORY SERVICES
March 21, 2014 - August 6, 2014
AVANTAX INVESTMENT SERVICES, INC.
March 17, 2010 - April 18, 2012
NATIONWIDE SECURITIES, LLC
March 11, 2009 - December 17, 2010
NATIONWIDE SECURITIES, LLC
March 4, 2009 - April 18, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 17, 2007 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
August 15, 2007 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
August 16, 2006 - April 13, 2007
MERCANTILE BROKERAGE SERVICES, INC.
August 16, 2006 - April 13, 2007
MERCANTILE BROKERAGE SERVICES, INC.
April 25, 2006 - June 23, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 2006 - June 23, 2006
MSI FINANCIAL SERVICES, INC.
January 6, 2006 - April 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 3, 2003 - August 15, 2005
ALLSTATE FINANCIAL SERVICES, LLC
January 9, 2003 - May 13, 2003
OSAIC FA, INC.
January 9, 2003 - May 13, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 9, 2003 - May 13, 2003
OSAIC FA, INC.
March 27, 2001 - November 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2000 - November 11, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 25, 1998 - August 1, 2000
MORGAN STANLEY DW INC.
January 5, 1998 - November 3, 1998
SECURITIES SERVICE NETWORK, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
